The law offices of Gana Weinstein LLP are currently investigating claims that advisor Lester Burroughs (Burroughs) is converted customer funds among other allegations. According to BrokerCheck records, Burroughs is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Lincoln Investment. In addition, Burroughs disclosed 17 customer complaints. If…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael McTigue (McTigue), in August 2017, was terminated by his employer ProEquities after the firm alleged that during a recent branch inspection of the firm discovered issues relating to (1) use of unapproved email address; (2) use…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Walter Starghill (Starghill), in March 2017, was discharged by brokerage firm Lincoln Investment over allegations of Starghill’s “participation in a private securities transaction in violation of Firm policy.” In the industry all securities transactions, private investments, loans,…
Our firm’s investment attorneys are investigating reports in a New York Times article and customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Walter Marino (Marino) currently associated with Benjamin Securities, Inc. (Benjamin Securities) alleging unsuitable recommendations to invest in variable products such as variable annuities and equity…
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Gregg Beemer (Beemer) concerning allegations that Beemer engage in outside business activities including the sales of private securities. When outside business activities also include the recommendation of investments the activity is referred to in the industry as “selling away.” FINRA…